Showing 242 to 251 of 325 search results for enforcement investigations.

242. Should you invest?

     Get your immediate finances in order before you invest. Pay off any short-term debt, have an emergency cash fund and consider investing more in your pension.

243. Former Swinton executives fined and banned from senior roles after insurance add-ons mis-selling

     Press Releases Published: 05/11/2014 Last modified: 29/11/2021
     The Financial Conduct Authority (FCA) has fined three former senior executives of Swinton Group Limited (Swinton) £928,000. The FCA’s action follows previous enforcement action taken against Swinton: in 2013 it was fined £7.4m after it adopted

244. FCA fines Yorkshire Building Society £4,135,600 for failings in dealing with customers in mortgage arrears

     Press Releases Published: 29/10/2014 Last modified: 29/10/2014
     YBS has already started to refund these customers. Tracey McDermott, FCA director of Enforcement and Financial Crime said:. ... YBS agreed, voluntarily and proactively, prior to the enforcement investigation commencing to refund all mortgage arrears fees,

245. Surveillance: The FCA's expectations and toolkits

     Speeches Published: 07/10/2014 Last modified: 07/10/2014
     Speech by Patrick Spens, Head of Market Monitoring, at the British Bankers' Association Market Abuse Conference. This is the text of the speech as drafted, which may differ from the delivered version.

246. Deutsche Bank fined £4.7m for failing to properly report transactions

     Press Releases Published: 28/08/2014 Last modified: 28/08/2014
     We have repeatedly highlighted the importance of accurate transaction reporting and taken enforcement action against a number of firms. ... Deutsche agreed to settle at an early stage of the investigation, and received a 30% reduction of their fine.

247. Lloyds Banking Group fined £105m for serious LIBOR and other benchmark failings

     Press Releases Published: 28/07/2014 Last modified: 28/07/2014
     Our enforcement actions are an important source of information to help them do this.”. ... This was a significant cross-border investigation and, in particular, the FCA would like to thank the U.S.

248. FCA imposes recruitment ban on the Financial Group for failing to control its Appointed Representatives

     Press Releases Published: 23/07/2014 Last modified: 23/07/2014
     The Group was referred to the FCA’s Enforcement Division following a risk assessment in May 2012 and the FCA’s predecessor the Financial Services Authority (FSA) thematic review of firms’ ... Financial Group agreed to settle the case at an early

249. Sustainability

     Speeches Published: 22/07/2014 Last modified: 05/08/2014
     We are continuing to prosecute insider dealing cases and have number of investigations and prosecutions in the pipeline. ... on the US markets.Our actions were coordinated both in terms of investigation and publication of our respective decisions.

250. FCA publishes results of thematic reviews into enhanced transfer values and SIPP operators

     Press Releases Published: 21/07/2014 Last modified: 21/07/2014
     The FCA have already required several firms to limit their business as part of the thematic review and in some cases have initiated enforcement investigation.

251. Financial Conduct Authority fines Credit Suisse and Yorkshire Building Society for financial promotions failures

     Press Releases Published: 16/06/2014 Last modified: 09/12/2016
     Tracey McDermott, FCA’s director of enforcement and financial crime said:. "It is crucial that firms consider the needs of their customers from the time that products are being designed through ... Both firms agreed to settle at an early stage of the

252. Regulating high frequency trading

     Speeches Published: 04/06/2014 Last modified: 04/06/2014
     Speech by Martin Wheatley, CEO, the FCA, at the Global Exchange and Brokerage Conference, New York. This is the text of the speech as drafted, which may differ from the delivered version.